FPA MI Lunch & Learn Grand Rapids

    December 10, 2018
    11:30 AM - 1:00 PM

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    CityFlats Hotel
    83 Monroe Center Street NW
    Grand Rapids, MI 49503

    Get ready, your financial services practice faces big changes next year.

    Join us on December 10th when
    Shane Hansen and Malachi Alston present

    "A Federal and State Regulatory Update"
    Approved for 1.5 CFP CE's

    FPA Members and first-time guests - $20.00
    Non FPA Members - $30.00

    About this presentation: What’s in your client’s “best interest” as redefined by the SEC and US Department of Labor (DoL)? Is it a process, a standard of care, and/or an outcome? How can fiduciary principles be applied to a transaction-based relationship? An entirely new rules set applying the Michigan Uniform Securities Act (MUSA) is almost here—it only took a decade! The presentation will touch on the following learning objectives:

    • What’s the SEC’s proposed “best interest” standard for brokerage services?
    • Has the SEC changed its views about an investment adviser’s fiduciary obligations?
    • How will clients be educated about the differences between BDs and IAs?
    • The DoL’s “Fiduciary” Standard has been vacated—what’s left, what’s next?
    • Michigan-registered investment advisers will face new requirements in 2019.
    • Michigan’s new prohibited conduct rules will apply in 2019.

    Who should attend:  This program will be of interest to CEOs, CFOs, CCOs, and planners at all stages of their career because new SEC, DoL, and Michigan regulatory requirements will apply—time to plan and budget for compliance with next year’s new regulatory obligations.

    About the presenters:

    Shane Hansen is a partner and co-chairs the Funds and Investment Services Practice in the law firm of Warner Norcross & Judd LLP. His law practice concentrates in the area of financial services regulation, primarily involving federal and state securities and banking laws and related rules. He advises investment advisers, investment managers, private fund advisers, financial planners, broker-dealers, banks, and their representatives about securities laws and compliance, as well as related corporate, contract, business successions, regulated compensation arrangements, and financial service industry M&A transactions. He is recognized among The Best Lawyers in America®, Michigan Super Lawyers®, and serves on the Business Law Section Council for the State Bar of Michigan.

    Malachi Alston concentrates his practice on the regulation of investment advisers and private investment funds, as well as business and corporate matters. He serves as the first point of contact for investment advisers, commodity pool operators, commodity trading advisors and private equity sponsors on formation and compliance issues. He regularly advises clients on hedge fund and private equity fund structures, including managed accounts, funds-of-one, funds of funds, master-feeder fund structures, series funds, parallel funds, and related topics. He also leads clients through structuring regulated compensation flows, mergers and acquisitions, private equity investments, joint ventures, and strategic acquisitions, and capital raises.




    $20.00 FPA Member

    $35.00 FPA Non Member

    $20.00 First Time Guest